Financial Transactions and Regulatory Compliance Review

Covering the latest in capital markets transactions, funds, annuities, financial reporting and SEC filings

IPOs and Transactions: September 3 - 7

There were 32 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Real Goods Solar Inc w/ Brownstein Hyatt Farber Schreck, LLP, Protagonist Therapeutics Inc w/ Cooley LLP, Audioeye Inc w/ DLA Piper LLP, Iovance Biotherapeutics Inc w/ DLA Piper LLP, Marcus Corp w/ Foley & Lardner LLP, Jump World Holdings Ltd w/ Loeb & Loeb LLP, Nlight Inc w/ O'Melveny & Myers LLP, Jump World Holdings Ltd w/ Pryor Cashman LLP, Nlight Inc w/ Wilson Sonsini Goodrich & Rosati, PC, Cerecor Inc w/ Wyrick Robbins Yates & Ponton LLP.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

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Account / Firm Company Name Symbol Form Type Industry Underwriters
Baker & Hostetler LLP Terra Tech Corp TRTC S-3 3510 - Engines & turbines  
Breyer & Associates PC Fs Bancorp Inc FSBW S-4 6036 - Savings institutions, not federally chartered  
Brownstein Hyatt Farber Schreck, LLP Real Goods Solar Inc RGSE S-3 1799 - Special trade contractors, not elsewhere classified  
Cooley LLP Guardant Health Inc - S-1 8071 - Services - medical laboratories
  • J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Cowen and Company, LLC
  • Leerink Partners LLC / William Blair & Company, L.L.C.
Cooley LLP Protagonist Therapeutics Inc PTGX S-3 2834 - Pharmaceutical preparations  
Davis Polk & Wardwell LLP Elastic N.V. - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Barclays Capital Inc. / RBC Capital Markets, LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Citigroup Global Markets Inc. / Jefferies LLC / Canaccord Genuity LLC
Davis Polk & Wardwell LLP Kodiak Sciences Inc - S-1 2836 - Biological products, except diagnostic substances
  • Morgan Stanley & Co. LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Barclays Capital Inc. / Chardan Capital Markets, LLC
Davis Polk & Wardwell LLP Studio City International Holdings Ltd - F-1 7011 - Hotels & motels
  • Deutsche Bank Securities Inc.
  • Credit Suisse Securities LLC
  • Morgan Stanley & Co. PLC
DLA Piper LLP Audioeye Inc AEYE S-1 6798 - Real estate investment trusts  
DLA Piper LLP Iovance Biotherapeutics Inc IOVA S-3 2836 - Biological products, except diagnostic substances  
Dorsey & Whitney LLP Aytu Bioscience Inc AYTU S-1 2834 - Pharmaceutical preparations
  • Ladenburg Thalmann & Co. Inc.
Dow Holdings Inc. Dow Holdings Inc - 10-12B -  
Elastic N.V. Elastic N.V. - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Barclays Capital Inc. / RBC Capital Markets, LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Citigroup Global Markets Inc. / Jefferies LLC / Canaccord Genuity LLC
Ellenoff Grossman & Schole LLP Aytu Bioscience Inc AYTU S-1 2834 - Pharmaceutical preparations
  • Ladenburg Thalmann & Co. Inc.
Fenimore Kay Harrison & Ford, LLP Spirit Of Texas Bancshares Inc STXB S-4 6022 - State commercial banks  
Fenwick & West LLP Upwork Inc - S-1 7374 - Services - computer processing & data preparation
  • Citigroup Global Markets Inc.
  • Jefferies LLC / RBC Capital Markets, LLC
  • Stifel, Nicolaus & Company, Inc. / JMP Securities LLC
Foley & Lardner LLP Lm Funding America Inc LMFA S-1 6199 - Finance services
  • Maxim Group LLC
Foley & Lardner LLP Marcus Corp MCS S-3 7832 - Services - Motion picture theaters, except drive-in  
Greater Hudson Bank Connectone Bancorp Inc CNOB S-4 6022 - State commercial banks  
Guardant Health, Inc. Guardant Health Inc - S-1 8071 - Services - medical laboratories
  • J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Cowen and Company, LLC
  • Leerink Partners LLC / William Blair & Company, L.L.C.
Hogan Lovells LLP Connectone Bancorp Inc CNOB S-4 6022 - State commercial banks  
Hunter Taubman Fischer & Li LLC Aptorum Group Ltd - F-1 2834 - Pharmaceutical preparations
  • Boustead Securities, LLC
Hunton Andrews Kurth LLP Spirit Of Texas Bancshares Inc STXB S-4 6022 - State commercial banks  
Keller Rohrback L.L.P. Fs Bancorp Inc FSBW S-4 6036 - Savings institutions, not federally chartered  
Kirkland & Ellis LLP Studio City International Holdings Ltd - F-1 7011 - Hotels & motels
  • Deutsche Bank Securities Inc.
  • Credit Suisse Securities LLC
  • Morgan Stanley & Co. PLC
Kodiak Sciences Inc. Kodiak Sciences Inc - S-1 2836 - Biological products, except diagnostic substances
  • Morgan Stanley & Co. LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Barclays Capital Inc. / Chardan Capital Markets, LLC
Latham & Watkins LLP Guardant Health Inc - S-1 8071 - Services - medical laboratories
  • J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Cowen and Company, LLC
  • Leerink Partners LLC / William Blair & Company, L.L.C.
Loeb & Loeb LLP Jump World Holdings Ltd - F-1 7370 - Services - computer programming, data process, etc.
  • Boustead Securities, LLC
  • FinTech Clearing, LLC
Lowenstein Sandler LLP Tonix Pharmaceuticals Holding Corp TNXP S-1 2834 - Pharmaceutical preparations  
Luse Gorman, PC 1895 Bancorp Of Wisconsin Inc - S-1 -  
Morgan, Lewis & Bockius LLP Invesco Db Multi-Sector Commodity Trust [Filer];Powershares Db Agriculture Fund [Filer] DBA;DBO S-1 6221 - Commodity contracts brokers & dealers  
Morgan, Lewis & Bockius LLP Renn Fund Inc RCG N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices  
O'Melveny & Myers LLP Nlight Inc LASR S-1 3674 - Semiconductors & related devices
  • Stifel, Nicolaus & Company, Inc.
  • Raymond James & Associates, Inc. / Needham & Co.
  • Canaccord Genuity LLC / D.A. Davidson & Co.
Pryor Cashman LLP Aptorum Group Ltd - F-1 2834 - Pharmaceutical preparations
  • Boustead Securities, LLC
Pryor Cashman LLP Jump World Holdings Ltd - F-1 7370 - Services - computer programming, data process, etc.
  • Boustead Securities, LLC
  • FinTech Clearing, LLC
Sidley Austin LLP Celsion Corp CLSN S-3 3845 - Electromedical & electrotherapeutic apparatus  
Sidley Austin LLP Independence Contract Drilling Inc ICD S-3 1381 - Drilling oil & gas wells  
Trowbridge Sidoti LLP Keystone Investors-Urban Node Fund Ii Lp - 1-A 6500 - Real estate  
United Express Inc. United Express Inc - S-1 -  
Upwork Inc. Upwork Inc - S-1 7374 - Services - computer processing & data preparation
  • Citigroup Global Markets Inc.
  • Jefferies LLC / RBC Capital Markets, LLC
  • Stifel, Nicolaus & Company, Inc. / JMP Securities LLC
Verizon Communications Inc. Verizon Communications Inc VZA S-4 4813 - Telephone communications, except radiotelephone  
White & Case LLP Oi S.A. - In Judicial Reorganization OIBR F-1 4813 - Telephone communications, except radiotelephone  
Wilson Sonsini Goodrich & Rosati, P.C. Elastic N.V. - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Barclays Capital Inc. / RBC Capital Markets, LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Citigroup Global Markets Inc. / Jefferies LLC / Canaccord Genuity LLC
Wilson Sonsini Goodrich & Rosati, P.C. Upwork Inc - S-1 7374 - Services - computer processing & data preparation
  • Citigroup Global Markets Inc.
  • Jefferies LLC / RBC Capital Markets, LLC
  • Stifel, Nicolaus & Company, Inc. / JMP Securities LLC
Wilson Sonsini Goodrich & Rosati, PC Kodiak Sciences Inc - S-1 2836 - Biological products, except diagnostic substances
  • Morgan Stanley & Co. LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Barclays Capital Inc. / Chardan Capital Markets, LLC
Wilson Sonsini Goodrich & Rosati, PC Nlight Inc LASR S-1 3674 - Semiconductors & related devices
  • Stifel, Nicolaus & Company, Inc.
  • Raymond James & Associates, Inc. / Needham & Co.
  • Canaccord Genuity LLC / D.A. Davidson & Co.
Windels Marx Lane & Mittendorf, LLP Connectone Bancorp Inc CNOB S-4 6022 - State commercial banks  
Winston & Strawn LLP Petiq Inc PETQ S-3 5122 - Wholesale - drugs, drug proprietaries & druggists' sundries  
Wyrick Robbins Yates & Ponton LLP Cerecor Inc CERC S-3 2834 - Pharmaceutical preparations  

 

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